FEDERAL

BUREAU OF

INVESTIGATION

FREEDOM OF

INFORMATION/PRIVACY
COVER SHEET

ACTS SECTION

SUBJECT: UNDERCOVER
GUIDELINES

OPERATIONS

&

.1*5

Q ? 1.
92 I Sensitive

Manual of Investigative Operations

Part II

and Guidelines

PAGE 10

within 48 hours of the installation

this chapter.

or law enforceaent officer of a pen register or trap and trace devioi pursuant to ! above without application for the authorizing order
shall constitute a violation
'

of

In essence,the "emergency" and trace provision mirrors the trap "eaergency TitleIII" provision found in Title 18, USC, Section 2518 !. However,there are several differences. First, the nuber of statutorily designated DOJ officials who layapprove emergency of use

General, or Deputy any Assistant Attorney

the national security interest."

include "any Assistant Attorney General, any acting Assistant Attorney

trap and trace devices in Federal investigations is

broadened to

Section 2518 !, the emergency trap and trace statute

In those rare

General." Second, unlike

situations where an

emergency situations involving "conspiratorial activities threatening

does not include

Surveillance Act 1978 FISA!,which of regulates

trace devicesas well

"eaergency" trap and trace would berequired for use in situations threatening thenational security, consideration should given: a! be to utilizing the emergency provisions of the ForeignIntelligence as electronic surveillance interceptions in

pen register/trapand

conspiratorial activities characteristic of organized crime- e.g., a

terrorist group's to boaba plan building!.
Fora FD 472 to

the national security, either involves an iluediate danger of death or serious physicalinjury to any person that or the situation concerns Of course, if

national securityinvestigations, which include criminalespionage cases; or b! to emphasizing that situation, although threatening the

not be obtained. Use

EFFECTIVE: O3/23/92

telephone subscriber customer user!, the customer's consent, or as is indicated in Section 3l21 b! !, is sufficient, and a court order need
docuaent consent.

investigative orlaw enforcement officers are dealing withthe

10-11 FBI

mar 11,

unnzacovsa ACTIVITIES -CRIMINAL MATTERS [ nxoc, $25

10-14.1.5.1]

HANUAL.!

NOTE: FBI UNDERCOVER ACTIVITIES FC1 FCI MATTERS, SEE

The undercover technique is one of the most effective and successful investigative tools the Federal Bureau Investigation has of
to investigate crime. As such, it should be protected and used

Sensitive

PRINTED: 03/14/94

,-.
Q

-/ -92 92

' 1

.
4.

Sensitive

Hanual Investigative Operations Guidelines of and

Part II

~ PAGE

10-

99

wisely. The conductundercover operationsgoverned by of UCOs! is

which initially approved 1980 revised were in and ll/13/92. The FIELD GUIDE UNDERCOVER AND OPERATIONS FOR SENSITIVE which forth sets FBI policies and procedures concerning the conductUCOs of has been disseminated field. The field officeundercover coordinator to the

the Attorney Genera1's Guidelines on AG6! FBI Undercover Operations

UCC! and the Undercover Sensitive and Operations Unit USOU!, Criminal Investigative Division, FBI Headquarters, consulted should be
regarding specific questions relating to UCOs.
EFFECTIVE: 12/O7/93

10:11.1 |DeletedI

EFFECTIVE: 10/18/93

10-11.2 |n1=za|

EFFECTIVE: 10/18/93

10-11.3 [Deleted]

EFFECTIVE: 10/18/93

Sensitive

PRINTED: 03/14/94

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92 O Sensitivo

Manual of Investigati
Part II

vo_0p0rations and

Guidclinoa
PAGE 10 -100

10-11.4 |n1c8|

arrzcr1vs= 10/1a/9:

10-11.5 |n.1:=|

EFFECTIVE: 10/18/93

10-11.6 |De1eted|
srrzcrzvs: 08/28/91

10-11.7

|o1c|

EFFECTIVE: 08/28/91

10-11.8 [Moved
EFFECTIVE: 08/28/91

and Renunbered as 10-16]

10-11.9 |n1c8|

rrzcr1v= 08/28/91

10-12 USE

OF HYPNOSIS AS AN INVESTIGATIVE AID

Senaitivo

1 ' g Q~"'92 Se
.-92

it'

Sensitive

Manualof Investigative

Part II

Operations andGuidelines

PAGE 10

l0-14.1.5 Undercover Funding Authority

Undercover Operations be should made to substantive at the desk FBIHQ. Short-tern FCI GroupUndercover and II Operations lay funded be from
GroupUndercover I Operations are funded from FIIHQ advances. Authority to conduct undercover operations is discussed in Part II, l0-ll, of this manual, "FBI UNDERCOVER ACTIVITIESMATTERS." -CRIMINAL Authority to conduct undercover operations in PCI natters discussed is in Part I, Section 0-6 of the Foreign Counterintelligence Manual. ~~
EFFECTIVE: 12/07/93

Request for advance funding FCI, Group for Iand Group II

the|draft system.| Larger FCI Group and II cases nay use advanced funds theldraft syatealis if insufficientfund the to operation. All

10'l4.l.6 ShowBuyrbust and Honey Funding Authority

leave thecare, custody control of or the FBI. Theyare to be returned toFBIHQ whenlonger no needed by case whichtheir the for use was originally authorized that they nay subsequently so be
reissued.

funds. Such funds are NEVER to be

illegal transaction in supportof specific investigativecase. Usea of these funds does NOT constitute an EXPENDITURE of appropriated
allowed to becoae evidence or to

! Show and Buyrbust noney is available on case-bya cooperating witness or Undercover Agent or consummate to a proposed
case basis providefinancial credibility for an asset/informant, to

financial institutionwithout an exemption from Attorney the General. Upon receipt an exemption, the of funds areto be placed in a federally insured financial institution,unless otherwise authorized,
to provide credibility to an operation.

! Show funds cannot deposited be into a bank or other

reinforce the of Undercover role an Agent to consummate or a proposed

illegal transaction as part of an arrest Buy-Bust!scenario. Showur oses or for use in a Buy-Bust situation. The use of more

' !

Thefunds may

be useda display of cash to in

! TheSAC may approveuse of to |for the up

! Requests Show Buy-Bust for or funds must
l Sensitive
rn1urzn= 03/14/94

thanbnust be approved in FB'IHQ. advance by

specify:

FEDERAL

BUREAU OF

INVESTIGATION

FREEDOM OF

INFORMATION/PRIVACY ACTS
COVER SHEET

SECTION

SUBJECT: GUIDELINES
OPERATIONS

ON UNDERCOVER

- .

.1- ~92

u.s. Department ofJustice

s Q 1
~
V

ti?
V

Federal BureauInvestigation of
__ 1'

Undercover and Sensitive

Operations Unit
Attorney General 's
Guidelines on FBI

Undercover Operations
Revised 11/13/92

13 4 4 ; 92 it
* BW pi w

Q $1 :$ W
~ . I "11-< *J" v Q; 10

v"&#39;- . V &#39; OF ; ~" v . !$ENT

Investigative Support Section

&#39;

_~_r

ATTORNEY

GENERAL&#39;S GUIDELINES ON FEDERAL BUREAU OF INVESTIGATION

UNDERCOVER OPERATIONS

The following

Guidelines on

the use

of undercover

activities

issued under the authority of the Attorney General Title 28, United States Code, Sections 509, S10, apply to all investigations conducted by the FBI, conducted pursuant to its foreign counterintelligence
intelligence responsibilities.

and operations

by the

Federal Bureau

of Investigation

provided in and 533. They except those and foreign

FBI! are

I1

_ / 92

92 .1.

.
1

_. I

... -~92..._ ,.-.......,.~4. .

Q I. II. III IV.

INTRODUCTION
DEFINITIONS

GENERAL.AUTHORITY

AUTHORIZATION OP UNDERCOVER OPERATIONS

A. B.

enera1 Approval Standards

Undercover Which Hay hymthe be pecia1 Agent Qperations in Charge_1$AC1 Authorized

Qperations lust be which Aggroved at FBIHQ Crininal Undercover Qperations Committee Review
0 I:

C. D.

E. Designated Assistant Agproval Director, Deputy by the Director Director, or

P. G.

Agplication/Notification to PBIHQ
Duration ofAuthorization

H.Undercover Enployees Illegal Activity Participation in Otherwise by

I. Bhergency Authorization
V.

PROTECTING INNOCENT PARTIES ENTRAPHENT AGAINST

A. Entraggggt

% a
.% .

&#39;3 F ~=

5 M

B. Authorization Requirements
C. Excegtion
VI.

=4 _ . . si &#39; >2 ! 1. .:_ -3 :

A.Coqperating_Witnesses Knlqyeesy Infornants, Pregaration of Undercover and

B.

NONITORING OF UNDERCOVER AND CONTROL OPERATIONS

Review of Conduct

fg

3 = . a L i _,.__ , =~1&#39

D.

C.Prosecutor ontinuing_Consu1tation with the Appropriate Federal I Serious Legal Previously Ethical, Prosecutive, Sensitive or Departlental Is Policy Questionsy Unforeseen and
.-01 &#39; "1 ;% iii;-".:I .1 .1,.

W &#3

F. VII.

E._ Annual the Undercover Committee Report of Review Deposit of Proceeds; Liquidation of Proprietaries

Circunstances

BERYBTI

,. ~92.
I. INTRODUCTION

The use of the undercover technique, including proprietary business entities, is essential to the detection, prevention, prosecution of white collar crimes, public corruption, terrorism, inherently involve an element of deception and may require

and

organized crime, offenses involving controlled substances, and other priority areas of investigation. However, these techniques
so should

cooperation with
question, and
II. DEFINITIONS

persons whose motivation and

be carefully

considered and

conduct are open to

monitored.

by an employee of

activity involving

A. "Undercover

the FBI

the use of an assumed name cover or

or another Federal, state,
the FBI. working with

Activities means

any investigative

or local

identity

law

enforcement organization

B. "Undercover Operation means an investigation involving a series of related undercover activities over a period of time by an undercover employee. For purposes of these Guidelines, a "series of related undercover activities" generally consists of more than three separate contacts by an undercover employee with
the individual s! activity involving an undercover
involved. &#39;

under investigation. sensitive or operation regardless

However, undercover fiscal circumstances constitutes of the number of contacts any employee of the

&#39;

working under the direction particular investigation,

employee of a Federal,

C. "Undercover

Employee means

state, or

concealed from third parties in the course of an investigative operation by the maintenance of a cover or alias identity. D. "Proprietary"
of the

and control of the FBI in whose relationship with the

local law

enforcement agency
a . FBI is

FBI, or

basis, which
on behalf
concealed from

corporation, or

is owned, controlled, or
FBI, and
third parties.

other business

means a sole

entity operated

proprietorship, partnership, operated wholly

with the

on_a commercial

whose relationship

or in

FBI is

part

B. Appropriate Federal Prosecutor means a United Attorney or Section Chief in the Criminal Division of the
Department of Justice DOJ!.

States

.&#39;

92

III. GENERAL

AUTHORITY

&#39;

do not apply to investigations utilizing confidential informants, cooperating witnesses cooperatingsubjects, unlessthe or investigation also utilizes an undercover employee. The FBI, through the development of internal policy, choose may to apply these Guidelines to certain confidential informant, cooperating witness, and cooperating subject operations by referring such matters tothe Undercover Review Committee pursuant to Section
IV, Paragraph D! !.

The FBI may use undercover activities and conduct undercover operations, pursuanttheseGuidelines, that appropriate to are to carry out its law enforcement responsibilities. These guidelines

undercover activities other enforcement agencies with law and may

operation&#39;sor effectiveness. All joint undercover cover operations are be conducted pursuanttheseGuidelines. to to
IV. AUTHORIZATION UNDERCOVER OF OPERATIONS I

Underauthority, this

the FBI may participate joint in

1 I

operatea proprietary to the extent necessary maintain an to

careful consideration

shall weigh risksand benefits theoperation, giving the of

to the following factors:

approval or authorization ofa proposed undercover application

! The risk of personal injury to individuals,
to persons or

A. General Approval Standards: official considering Any

persons;

businesses, damage reputation, or other harm to to

property damage, financial loss

with privileged
! The
restricted in

! The risk of civil liability or other loss-to the Government; _ ! The risk of invasion of privacy or interference

or confidential relationships;
and

operations may become involved illegal conduct in

paragraph IV.H. below:

risk that

individuals engaged in undercover

I 4 D F

operation. B

type of activity that is

! The

suitability of

Government participation the in

expected to occur during the

B. Undercover Operations Which be Hay Authorized by the

Special Agent in Charge SAC! ! The establishment,

undercover operations be supervised by given field to a paragraphbelow, IV.C.

operation does not involve any of the factors
4

extension, or renewal of all

office must be approvedby the SAC. Tf the

undercover
listed in

this approval shall constitute

92

92 |
the operation.
.

written determination,
circumstances, that: regarding the enterprise is

authorization for

stating supporting

Approval requires
activity
"

facts and

a! Initiation

departmental guidelines;

alleged criminal warranted under

of investigative

conduct or criminal any applicable

b! The proposed undercover operation appears to be an effective means of obtaining evidence or necessary information. This finding should has been conducted and what chance the operation has of obtaining evidence or necessary information
concerning the alleged criminal criminal enterprise: conduct or

include a statement

of what

prior investigation

c! The

undercover operation

will be

conducted
with the

with minimal

collect the
and effective

evidence or
manner;

intrusion consistent

information in

a timely
or

need to

by the

confidential source
Informants and

d! Approval

for the

Attorney Genera1&#39;s Guidelines on

Confidential Sources;

has been obtained as required

Use of

use of

any informant

be approved is justified
f! If
to that

undercover employee

e! Any

foreseeable participation

by the SACon his or her own authority by the factors noted in paragraph H;
no present
any of

in illegal

activity that

by an

can

there is
effect.

expectation
or

of the
fiscal

occurrence of

the sensitive

circumstances listed

in paragraph

C, a statement

to this subsection for up to six months upon renewal for an additional six-month

! Undercover

operations may be authorized

the expenditure of more

to time
expenses!, or

total of no more than one year. Undercover operations initiated pursuant to this subsection may not involve

and continued period, for a

pursuant

cases of which a maximum of $40,000

by the
such other

than $40,000 $100,000 in drug

is for
amount that

operational
from time

Director, without

approval from

is set

FBI

Headquarters FBIHQ!.

Agents in Charge.

undercover operations to designated Assistant Special responsibility by the

The delegation

authorize the

! The

SAC may delegate the responsibility

establishment, extension,
of this

or renewal
~

to

of

SAC shouldbe in writing

5

and

.92 M,

Q
at

maintained in the appropriate field all undercover operations which

FBIHQ must !A
above shall

office. However, must be authorized

in !

be approved all written

be forwarded

by the

SAC. &#39;
FBIHQ.

copy of

approvals described
promptly to

Operations Which
l! Fiscal

lust

be Approved

at FBIHQ

Circumstances

In all undercover operations involving the fiscal circumstances set out below, the SAC shall submit an application to FBIHQ in accordance with paragraph IV.F. below. A recommendation for authorization may be forwarded directly to the Director or designated Assistant Director or, in operations involving only fiscal circumstances letters a! c!, to the designated Deputy Assistant Director for final review andw authorization, provided that the approval levels conform to all applicable laws. Applications for approval of undercover operations referred to FBIHQ only because of fiscal circumstances need not be considered or approved by the Undercover
Review Committee. ~

For purpose
will --

of these

Guidelines, an

undercover

operation involves reasonable expectation

fiscal circumstances if there that the undercover operation

is

&#39;

a! Require the purchase equipment, buildings,

alteration of
contract for

or lease of property, or facilities; the

facilities;
alteration of

92 r

buildings or
construction or

buildings or
more than

facilities; or
one month&#39;s rent;

prepayment of

1 92&#39;q J ,Y-f_= .

NOTE: The purchase, rental, or lease of property using an assumed name or cover identity to facilitate a physical or technical surveillance is not an undercover operation for purposes of these Guidelines. However, since the expenditure of appropriated funds is involved, approval must be obtained from FBIHQ in conformance with applicable laws.

" ..
31 vi . Hg.s

"$1 ~$

b! Require
into banks

the deposit
by the
or other

of appropriated
undercover operation

funds or

proceeds generated c! Use the proceeds

financial institutions;

generated by

the undercover

operation to
expenses of

offset necessary
the operation;
6

and reasonable>

d! Require a reimbursement or compensation agreement with cooperating individuals or entities for services or losses incurred by them in aid of the operation any reimbursement agreement entered
FBI&#39;s Legal Counsel Division!:

into with third parties

e! Exceed

mustbe reviewed
or
on duration

by the

- commitment of
Director for
office level.

the limitations

resources established

by the
field

or

operations initiated Circumstances below, the

at the

! Sensitive

circumstances listed

In all

undercover operations

involving any
SAC shall

below. The application shall be reviewed by &#39; appropriate supervisory personnel at FBIHQ and, if Committee for consideration. The then be forwarded to the Director
application. favorably recommended, sent to the Undercover

application

to FBIHQ

in accordance with paragraph

application shall or a designated

submit an

sensitive

Review

Assistant Director,

who may approve or disapprove the

.
.1. 1-:.

For purposes of these Guidelines, sensitive circumstances are involved if there is a reasonable expectation that the undercover operation will involve -, -

92 any elected by candidate, for

or political

a! an

investigation of

or appointed a judicialr,

possible criminal

official, or legislative ,

political

conduct

M e ,. .5

W A ?-".5?

4 ,r .

v,,_.> 4. ~ -* -. Q;

management-, or

in a Federal, state,

executive-level position

subdivision thereof;

or local governmental
of any local public official level in any

of trust

entity

~err &#39; 1-3. -3 &#39;5.

b! an investigation the Federal, state, or

function;

involving systemic
_

corruption of
of possible

any governmental
criminal conduct

at matter

&#39;.92 .--._;~. %%I . .~ 3-,~. 92 .>-_ 1 ? &#39;,:r- . 2

by any

c! an

media;

organization, political

foreign official

investigation

or government, religious
organization, or involving officials or executivebe considered

the news

nonsensitive. In

NOTE: There are some circumstances in judicial, legislative, management, level positions which may logically

such instances,

the Section

Chief,

&#39;
of and

has a national perspective

7

White-Collar Crimes Section, FBIHQ, who is a member the Criminal Undercover Operations Review Committee

on matters involving public

N ..
1 I

officials, mustbe consulted a for determination to as whether the undercover operation be shouldpresented to
the Undercover Review Cbmmittee.
or local

d! Engaging in activity havinga significant effect on or constituting a significant intrusion e! Establishing, acquiring, or using a
goods or services which are

into the governmentaloperation a Federal, state, legitimate entity; of &#39;

proprietary:

goods and services are reasonably unavailable a to

Government:

essential to the commission a of crime,

f! Providing

which

subject of the investigation except from the

commerce; the payments of bribes which

delivery or sale by the Government stolen of property whoseownership cannot determined; the be controlled delivery of drugs which will not enter

purchase of stolen or contraband goods; the

otherwise a serious crimebut --

state, or

g! Activity

local law as a felony or that is"~

that is proscribedby Federal,

not includingthe
l

controlled delivery of drugs and bribepayments, are subject to specific review and approval procedures. These matters must becoordinated with FBIHQ.
h! A significant risk that a person participating in an undercover operation will be
proceeding See paragraph H below!;

penalties of perjury!. See Paragraph below!; H NOTE: Somethe above activities,including the of

does not include any statement underoath or the

parties in concealment of personal identity or the true ownership a of proprietary this exemption

the making of false

included inthe other sensitive

representations to

circumstances; or
third

are not

arrested orwill supply falsely sworn testimony or

false documentation any legal or administrative in

communications between individual and his or any her lawyer;

enter into

i! Attendance at a meeting or participation in

P -is =4 54.? -592 -i g 1_ ,

j! A significant risk that a third party will a professional or confidential relationship witha person participating in an undercover operation isacting as attorney, who an physician, clergyman, member the news or of media;
8

A "7:

* k! of the of the

A request to an attorney, physician, member clergy, or other person for information,

ordinarily be privileged or is known to have a to,a member

that would whom the

news media
news person

concerning an

individual with

professional or

confidential relationship;

! Participation under investigation

Investigation or
such a group as an

in the activities of a group as part of a Domestic Security

recruiting
informant;

a person of violence a significant

from within or physical risk of

financial loss:

m! A significant risk injury to individuals or

n! Activities claims against contract, or

property; _

which could result in significant the United States arising in tort, for compensation for the "taking" of
.

o! Untrue

representations by

a person

third person
or consent.

participating in concerning the

without that

the undercover operation activities or involvement of

individual&#39;s knowledge

any

D. Criminal i j ndercover
! The

Undercover Operations Review Committee!

Undercover Review

Review Committee
Committee shall consist of

the Assistant
the Director.

Director and

appropriate employees

Criminal Division

of the

FBI designated in charge of

Criminal Division,
! When

Attorney General

attorneys designated
the

by the

by

DOJ, to be chaired
,

by a designee of
of an

an application

from an SAC
involving sensitive

for approval

undercover operation

Criminal Division with appropriate and the United States

recommendation by Committee members

specified

in paragraph

members of the Committee may consult FBI personnel, senior DOJ officials, Attorney as deemed appropriate.
~

the FBIHQ will meet

C ! is

substantive section, the to reviev the application.

received by

circumstances

FBIHQ, upon

The Committee shall submit the application to the Director or designated Assistant Director with a recommendation for approval or disapproval of the
request and the proposal. any recommended changes or amendments to

! In
IV.A. above,

addition to

the considerations
shall also

contained in
examine the

the Committee

application to

determine whether
9.

adequate measures

have

Q
been taken to minimize the incidence circumstances and reduce the risks of of sensitive harm and

intrusion that are created by such circumstances. the Committee recommends approval of an undercover"

If

operation, the
written statement

recommendation shall
explaining why

include a
the operation

brief
merits

approval in

light of

the anticipated

occurrence of
of an consensus,

sensitive circumstances.

The ! Committee shall recommend approval undercover operation only upon reaching a provided that:

a! If one or more of the designees of the Assistant Attorney General in charge of the Criminal Division does not join in a recommendation for approval of a proposed operation because of legal, ethical, prosecutive, or departmental policy considerations, the Attorney General and no further action shall be taken on the proposal until the designated Assistant Director has had an opportunity to consult with the Assistant Attorney General; and b! If, upon consultation, the Assistant Attorney General disagrees with a decision by the _ designated Assistant Director to approve the proposed operation, no further action shall be taken on the proposal without the approval of the Deputy Attorney General or the Attorney General. ! The Committee should consult the Legal Counsel Division of the FBI and the Office of Legal Counsel or other appropriate division or office at DOJ about any significant unsettled legal questions concerning authority for, or the conduct of, a proposed undercover operation. ! The Director, Assistant official designated by them Attorney General, or other may refer any sensitive

designee shall

promptly advise

the Assistant

investigative matter,
or comment, regardless of

including informant,
whether an

cooperating
undercover

witness, and cooperating subject Undercover Review Committee for operation is involved.

operations, to the advice, recommendation

! The United States Attorney, Special Charge or any member of their staffs, Criminal Undercover Operations Review
order to operation. advocate for the approval ~

Agent in may attend Committee in

of an undercover

the

8! If
S

the Special
10

Agent in

Charge and the United,

with any stipulation

States Attorney

jointly disagree

-R
92

&#39; &#39;

schedule a meeting of the committee to reconsider the

issue in question.

Criminal Undercover Operations Review Committee who may

9! At any time during the undercover operation the

Committee regarding approval of an undercover the operation, they may consultwith the chairman of the

set by the Criminal Undercover operations Review

the United States Attorneycan appeal directly to the Assistant Attorney General, Criminal Division, or the
Deputy Attorney General as appropriate.

decision directly to the Assistant Director. Likewise,

Special Agent in Charge can appealany Headquarters

B. Approval by the Director, Deputy Director, Associate

Deputy Director-Investigations, Designated or Assistant Director

operation considered the Undercover Review by Committee, unless the investigation involves sensitive circumstances l!or m!. Except pursuant the limited circumstances to described in Section
reasonable expectation

A designatedAssistant Director may approve undercover an

Director Investigations may approve a proposed operation a if

exists that:

I below,only theDirector, Deputy Director, orAssociate Deputy

participate in
! The undercover operation

Investigation or to recruit a person from within sucha group as an informant or confidential source Sensitive
Circumstance !!;

investigation as part of a Domestic Security

the activities

will be

of a group under .

used to

_ financial

personal injury to individuals or a significant

to FBIHQ

! There

may be a

significant risk

of violence or

loss Sensitive Circumstance m!!. to FBIHQ must be made forany

include:

risk of

F. Application/Notification

undercover operation requiring FBIHQapproval. Each

application shall
above:

! Application

a! The written SACapproval described B ! in

b! A description of the proposed operationand the particular cover to be employed; any &#39; assist in the operation, including background information, arrest record, andplea agreements; the particular offense or criminal enterprise
and any individuals known to informants or other cooperating persons who will

be involved;

under investigation;

ll

..<_,-..

*
92

I/&#39;-~._ Q . /

the operation would be maintained:

discussed in e! A
d! A description of how the concerning any inducements to

c! A

statement&#39;of the period of

time for

which

Section V.B.

below have been met;

requirements be offered as

and

statement of

proposed expenses.

C ! shall

involving sensitive

! Applications

for approval

also include

circumstances listed in
the following

of undercover

information:

paragraph

operations

likely to be, and why the undercover operation merits approval in light of the circumstances,
including: _.

a! A statement of reasonably expected

which circumstances to occur, what the

are facts are

I

of paragraph

the participation activity is justified

sensitive circumstance
H below,

i! For

undercover operations

in otherwise illegal under the requirements

and a letter from the

g!, a statement

involving

why

appropriate Federal
paragraph F ! b!;

prosecutor pursuant

to

matter under b! A letter from

and a description of procedures to minimize any acquisition, retention, and dissemination of information that does not relate to the

ii! For undercover operations involving sensitive circumstance l!, a statement why the infiltration or recruitment is necessary

authorized investigative

investigation or

activity.

to other

the appropriate
that he or she

Federal the sensitive

has reviewed

prosecutor indicating

prosecutive benefits
risks of other

proposed investigation would be an appropriate of the undercover technique and that the potential
harm.

with the proposal and its legality, and will prosecute any meritorious case that has developed. The letter should include a finding that the outweigh any direct costs or

circumstances reasonably expected to occur, agrees

use

the proposed

operation, including

! An application for undercover operation

obtained from the operation or explain any failure

obtain significant
extension or

the extension should describe should include

or renewal the results

of an

_:,&#3

results and,

where sensitive

&#39; the &#39;

to

circumstances are

from the appropriate Federal

renewal of
12

involved,

authority.

prosecutor favoring

a letter

.
Duration of Authorization

X ,

V.

to proceed, except pursuantsubparagraph to ! below.

! If there is significant change either the in

event longer than six months, without authorization new

objectives specified authorization, nor in the in any

continue longerthan is necessary to achieve the

! An undercover&#39;operation FBIHQ not by approved may

direction orobjectives of undercover an operation approved by FBIHQ, the operation must reviewed be by the authorizationReview Committee Undercoveris necessary. to determine whether a new
the Undercover Review Committee initiated or may be extended on interim basis by the an designated Assistant Directorin the event ofexigent circumstances, a for period not toexceed 30 days. In the caseof an initial authorization, budget enhancement, or change in focus, interim the authority mustratified be by the Undercover Review Committee at
its next scheduled meeting.

! An undercover operation which requires

review by

Director. No undercover operation approved at the

without obtaining approvalat FBIHQ.
date covert activity is begun.

maximum of $40,000 is operational for expenses!, or such amount that is set from other time to time by the

more than

the SAC must be reauthorized by designated a Assistant Director, pursuant paragraphs to IV.C F, if it lasts longerthan months or 12 involves the expenditure of
$40,000 $100,000 drug cases of which in a

! An undercover operation authorized initially by

field officelevel may continue for than year more one

! An undercover operation approved by SAC an is deemed to commencethe date on approved, Q9; onthe
! Among the factors to be considered ina

determination by approving any official of whether an undercover operation should be renewed or extended are:
a! The extent to which the operation has produced the results anticipated when it was

established; ,

initially targeted:

b! The potential for future success

beyond that
V

operation: and

continue without exposing the undervsuer

c! The extent to which the investigationcan

13

*
I

Q Q?
d! The extent to which continuation of the

.investigation otherwise, to H. Participation

Undercover Elployees

may cause injury, financial innocent parties. Illegal Activity by

or

in Otherwise

Except when authorized pursuant to these Guidelines, undercover employee shall engage in any activity that in by a private person acting purposes of these Guidelines, otherwise illegal activity.
! Justification:

constitute

a violation

of Federal,

without authorization. such activity is referred

No official

state, or

local law

no would For to as

if engaged

shall recommend

or

approve participation otherwise illegal

justified:

by an undercover employee activity unless the participation

in is

a! to obtain information or evidence necessary for the success of the investigation and not if; reasonably available without participation in the otherwise illegal activity; &#39;, b! c! to establish to prevent or maintain
or

credibility of bodily injury,

cover identity:

death or serious

! Minimization: The FBI shall take reasonable steps to minimize the participation of an undercover employee in any otherwise illegal activity. .> ! Prohibitions: An undercover employee shall not m.

a! participate
self-defense; , b! initiate

in any act of
or instigate

violence except
to commit

in &#39;

criminal acts
Avoidance of c! participate

except in
in conduct

accordance with
or which would to an

any plan

Part V

Entrapment! below,

constitute illegal

unlawful investigative wiretapping, illegal

entering, or
search!.

techniques e.g., illegal mail openings, breaking and

trespass amounting Nothing in

! Self-Defense:

these Guidelines

prohibits an undercover employee from taking reasonable measures of self defense in an emergency to protect his or her own life or the lives pf others against wrongful
force. Such measures shall be reported to the

appropriate Federal

prosecutor and
14

FBIHQ, who

shall

Division as

inform the Assistant Attorney General for the Criminal

soon as possible.
! Authorization:

participation in
approval shall

and activities,

a! The SAC must approve all

including those which contemplate

otherwise illegal
similar minor
or local
law;

undercover operations activity. This

of:

constitute authorization

misdemeanor or
Federal, state,
under local

i! otherwise

illegal activity
law:

crime under

which is

ii! consensual

monitoring, even
stolen or

if a crime
contraband

iii! the
goods;

purchase of

which cannot be traced to the

will not

iv! the

delivery or sale

of stolen property
rightful owner; of drugs which

v! the

enter commerce: payment of

controlled delivery
the sensitive

included in

vi! the

bribes which

circumstances;

is not

vii! the making of false representations to third parties in concealment of personal identity or the true ownership of a proprietary but not any statement under oath
or the
below!.

authorized pursuant

penalties of

perjury, which
.

to subparagraph

must be

b!

b! Participation in otherwise illegal activity which is a felony or its equivalent under Federal,
state, or local law requires additional Section IV E!.

review by the Undercover Review Committee. See

authorization by

the Assistant

Director after

which involves

c! Participation

physical injury
d! If

a significant

in otherwise illegal activity

risk of

Undercover ReviewCommittee. See Section IV E!.

an undercover employee believes
under the

Director or Deputy Director after review by the

it to be
appropriate standards set

requires authorization

violence or

by the D

necessary and

otherwise illegal

out in subparagraph H ! above, to participate

activity that was
15

not foreseen

in

._. .
or anticipated,

~. &#39; .

!
emergency
made to

consult with

the&#39;SAC, who seek shall

every effort

should be

interim authority from the designated Assistant Director, and review by the Undercover Review Committee if possible, or, if necessary, may provide emergency authorization under paragraph I
below. If consultation is impossible, and undercover employee concludes that there is the an

immediate and grave threat to life, physical safety, or property, the undercover employee may participate in the otherwise illegal activity, so long as he does not take part in and makes every effort to prevent any act of violence. A report to the SAC shall be made as soon as possible, who
shall submit shall promptly a written report to FBIHQ, which inform the Undercover Review

Committee. A decision by an undercover employee to participate in otherwise illegal activity under this subsection may be retroactively authorized if
appropriate. &#39; e! If an undercover operation results in violence

in the course of criminal activity, and an undercover employee, informant, or cooperating witness has participated in any manner in the criminal activity, the SAC shall immediately. inform the appropriate Federal prosecutor and FBIHQ, which shall inform the Assistant Attorney
General as possible. in charge of the Criminal Division &#39; as soon

Emergency Authorization

authorization of significant and

I! In

situations

the SAC, the SAC may orally

when he or she

which require

the prior

written

approve an
a

undercover operation

determines that

would be lost were the time taken to prepare a written authorization. The required written authorization, with the justification for the oral approval included, shall be prepared promptly and forwarded to FBIHQ. ! Emergency place within see G. !. interim authorization FBIHQ that provide for procedures are expeditious review emergency

unanticipated investigative

opportunity

in *

and authorization

situation exists

If the

of a proposed

which makes even

SAC concludes

undercover operation.
that an

this expedited

procedure too lengthy, in the following SAC may authorize the undercover operation:

situations, the

a! In

situations which

would otherwise

require

approval by the designated Assistant Director, the SAC may approve an undercover operation when he or she determines that without immediate initiation,
16

O *0
92

4 >1

property, or
be placed

extension, or

in serious

personal safety of individuals

danger. .

renewal of

an operation,

life,

would
r 92I 4

SAC mayapprove an undercover operation

she determines that the renewal of an operation life or prevent serious

approval by the Director or Deputy Director, the

b! In

situations which

would otherwise

require

initiation, extension, or is imperative to protect injury.

when he or

F &#39;7

Before providing authorization in these situations, SAC shall attempt to consult with the appropriate Federal prosecutor and with a designated Assistant
Director.

the

4.5 5.. nl
I

l&#3

under subparagraph
IV.B !.

! The

power to provide emergency authorizations

! may not be
4

delegated pursuant

to

: 1&#39

! In situations arising under subparagraph&#39; !,a written application for approval must be submitted to
FBIHQ within initial finding

-n ?

initiated,

extended, or

48 hours

after the

members of

emergency situation. As soon as it is notified of an emergency authorization, FBIHQ shall notify the DOJ

and a written description

renewed, together

operation has

with the
of the

been

Q % h #7:

subsequent written application for

a full report of all activity

the Undercover

Review Committee.

course of the operation must be submitted to the Director, who shall inform the Deputy Attorney General.
V. PROTECTING
A.

undertaken during the

approval is denied,
,.

If the

INNOCENT PARTIES AGAINST ENTRAPIENT

Entrapment &#39; Entrapment must be scrupulously

occurs when offense the
induces the
prosecute.

Ki 2; IV
I z E i

person who is not otherwise disposed to commit the

disposition to
commission of that offense

the Government

implants in

avoided. Entrapment
the mind
in order

of a
to

commit the

offense and

then

B.

Authorization Requirements

additional restrictions limit FBI undercover activity to ensure, insofar as it is possible, that entrapment issues do not adversely affect criminal prosecutions. As a result, no undercover activity involving an
inducement to an individual to engage in crime shall be

In addition

to the

legal prohibition

on entrapment,

authorized unless
that --

the approving
17

official is

satisfied

ii c: &#

Q O; 1 5
reasonably clear-to
! The

92.

i illegal nature
potential subjects;

! The

of the activity is

and

justifiable in view of the character of the illegal transaction in which the individual
invited to engage; and

nature of

any inducement

offered is

is

offering the
activities; and

! There

is a reasonable

inducement will reveal illegal

two following is reasonable limitations is indication that met: the or,
to

expectation that

! One

of the i! There

subject is
proposed or

likely to ii! The

engagein the
in similar

engaging, has engaged, or is

illegal conduct;

illegal activity

been structured believe that any

opportunity for

so that there persons drawn

illegal activity
is reason to the

has

predisposed to
illegal conduct. Exception

opportunity, or

engage in the contemplated

brought to

it, are

while not

The alternative

the Governmentdoes not offer inducements to engage in

protect life

required by law,

requirements of subparagraph 8 !,

are imposed to ensure that do so.

These standards can be waived only by the Director upon a written finding that the activities are necessaryto
or prevent other serious harm.

crime to persons who are not predisposed to

VI HONITORING

AND CONTROLOF UNDERCOVER OPERATIONS

Cooperating,Witnesses

Preparation of Undercover Elloyees,

! Prior to the investigation, the

Inforlants, and
shall review
SAC or a
the

designated Supervisory
each undercover

undercover employee is expected

employee the

Special Agent

conduct that

with

The SAC or Agent shall discuss with each undercover employee any of the sensitive or fiscal circumstances
reasonably likely

conduct that may

be necessary
to occur.

during the investigation.

or ! that are

to undertake

and other

specified in ! Each

paragraphs IV.C !

he or she shall not participate in any act of violence; initiate or instigate any plan to commit criminal acts;
18 O O

undercover employee shall be

instructed that

~ ..._._.~;. ..

so . |-

*&#39;
92

_ -755$
_ i: LIV

information or evidence; or any conduct engage in that would violate restrictionsinvestigative techniqu on or FBI conduct contained Attorney Genera1&#39 in the Guidelines or as out policy; except in departmental inparagraph and that, an emergency situationset IV.H. ! d!, he she or shall not participate in any illegal activity which The undercover for Guidelines. authorization has not been obtained under these employee instructed in law entrapment. shall be the of Whenundercover employee an learns that personsunder investigation intend the to commit crime, she shall to discourage aviolent he or try violence.
Review of_gggduct

use unlawful investigative techniques to obtain

From time during the to time, coursethe undercover of operation, the shall SAC review the conduct the of undercover employee s!participatingthe and others in undercover operation, including any proposed or reasonable foreseeable for remainder conduct the investigation. findings impermissiblethe Any individual, of condu shall be discussed the of promptly with reportedthe Undercover Committee, the to Assistant and_a and the members ofdesignated Review Director determination shall bemade to whether as the individual should continue or her his participation in the investigation.
Prosecutor

particularly with the propriety operation therespect to by the of theof andlegalproducedand sufficiencyactivity. quality evidence being that is

Continuing Consultation with the Appropriate Federal Upon initiating the SAC designated and throughout of_any the course undercover operation, or a Supervisory Agent shall&#39;consult on continuing a basis with appropriate the Special Federal prosecutor,
1 v

Policy Questions,Previously and Unforeseen Sensitive Circumstances ! The SAC shall consult withchairman thethe of
: v 2 z

Serious Legal, Ethical,_Prosecutive, or Departmental

not anticipated. FBI Attorney General, The shall with United the States Attorney, or Assistantconsult or their representative,with and DOJ Undercover Committee onmembers Review whetherof the modify, to
19

Criminal a Operations prosecutive, FBIH Review wheneverUndercover serious legal, ethical, Committee, or departmental question arises undercover policy in any thatwere operationifor sensitive circumstances occur

92 . .92 , ;,.

suspend, or
issues.

terminate the

investigation related

to such
the

! When unforeseen sensitive circumstances arise, SAC shall submit a written application to FBIHQ for authorization of an undercover operation previously approved at the field office level, or amend the existing application to FBIHQ pursuant to paragraph
IV.F.

Annual Report

of the

Undercover Review

Colmittee

! The

Undercover Review

Committee shall

retain

a
and

file of all applications for approval of undercover operations submitted to it, together with a written record of the Committee&#39;s action on the application

any ultimate
Committee.

disposition by
These records

the approving
and be summaries shall

official.

The FBI shall also undercover operation available for or Deputy

prepare a short recommended for

summary of each approval by the

inspection by Attorney General General in

the a designee of appropriate and as charge of

Associate of the

Assistant Attorney
Division.

the Criminal

! On an annual basis, the the Director, the Attorney

Committee shall submit to General, the Associate or

Deputy Attorney General in charge

report summarizing:

General, and the Assistant of the Criminal Division

Attorney a written

a! the types of and disapproved

disapproval;

undercover operations approved together with the reasons for addressed by

and how they

b! the
and

major issues

the Committee
were to the resolved;

in

reviewing applications c! any Deposit of As soon are no

significant modifications

operations recommended
Proceeds; Liquidation as the longer proceeds from necessary for of the

by the

Committee.
of Proprietaries

any undercover operation the conduct of the

activity, the
the Treasury receipts. A

remaining proceeds
United States

shall be

deposited in

as miscellaneous

Whenever a proprietary with a_net value over the amount specified by the Department of Justice Appropriation Authorization Act or other applicable laws is to be liquidated, sold, or otherwise disposed of, the FBI
20

..

p. IQ
F 2&#39;

shall report the circumstances and the Comptroller General.

liquidation, sale, obligations are

of the

or the met, shall

disposition, after _ be deposited in the Treasury

receipts.

to the Attorney General The proceeds of the

United States

as miscellaneous

VI

RBSERVLTIQ_

These Guidelines

are set

forth solely

for the

purpose of

matter, civil or criminal, nor do on otherwise lawful investigative of the Department of Justice.

and may not be or procedural,

internal DOJ

guidance. They

relied upon enforceable

to create any rights, by law by any party in

they place or litigative

are not

intended to,

any limitations prerogatives

substantive any

do not,

-21

FEDERAL

BUREAU OF

INVESTIGATION

FREEDOM OF

INFORIVIATION/PRIVACY ACTS
COVER SHEET

SECTION

SUBJECT: GUIDELINES
OPERATIONS

ON UNDERCOVER

&#39; . .
s-.&#39;.-

92 7

Iv.
. _ .&#39;

I,

nf Dffirr IhrAltnrnrg vnvral

Eashingtnnll. C. 211530
r

ATTQBY ctntnaigs GUIDELINES on

51unbsncovtk OPERATIONS C

The Bureau onof are use undercover operations bythe following Investigation Federal guidelines of issued under authority533. are of 510, the General provided 28 509, and Attorney as withinrequirements They consistent theU.S.C. of the proposed FBIAct, Charter but not do depend upon passage the Act for their effectiveness. of
INTRODUCTION u DEFINITIONS

GENERAL AUTHORITY

AUTHORIZATION OFUNDERCOVER OPERATIONS

A. Undercover Operations May beApproved that Not by theSpecial Agent Charge in because of Fiscal Circumstances

B. theSpecial Undercover in Charge NotofApproved Operations Because Sensitive that May be by Agent Circumstances -C. the SpecialAgentin Charge Undercover OperationsMay Approved that be by
D. Approval byHeadquarters Undercover Operations Review Committee,Director Designated and or
Assistant Director!,with ConcurrenceUnited of States Attorney StrikeForceWhere or Chief, Sensitive FiscalCircumstances Present or Are
E. Applications Headquarters to

F.
H.

Undercover Operations Review Committee

Duration of Authorizations

G. Approval Director Deisgnated by or Assistant Director

%~

L: z.
.

92f

I. Authorization
Illegal" Activity

of Participation
&#39;

&#39;

In "Otherwise

J. Authorization the Creation of of Opportunities

for Illegal Activity
1

K. Authorization

IThat are Not Part of an Undercover Operation

Consultation with
Force Chief

of Investigative

Interviews

92

MONITORING AND CONTROL OF UNDERCOVER OPERATIONS L. Continuing

Attorney or Strike

United States

E 3|. .

n Z-

H. Serious

Policy Questions,
Circumstances

Legal, Ethical,
Authorization

and Previously

Prosecutive, or Departmental

Unforeseen Sensitive

N. Emergency

O.

Annual Report
Committee

of Undercover of Undercover

Operations Review.

P. Preparation Q. Review of

Employees

Undercover Employee Conduct

R. Deposit
RESERVATION

of Proceeds; Liquidation of

Proprietaries

<2.

I L

a. -,

E ~w ~v

Q Q
INTRODUCTION

political corruption, organized crime, and other priority areas. technique inherently involves an element of deception, and occasionally may require a degree of cooperation with persons whose motivation and conductare open to question,
However, use of this
and so should be
*"IlIOJS

The FBI&#39;sof undercover employeesand operation of use proprietary business entities is a lawful.and essential technique in the detection and investigation of white collar crime,

carefully considered

and monitored.

DEFII2

with the FBI is concealed investigative operation

identity. &#39;

law enforcement agency working under the direction andmcontrol of the FBI in a particular investigation -whose relationship

employee of

An "undercoveremployee," underthese guidelines, is any

the FBI -- or employee of a federal, state or

local

from third parties in the course of an by the maintenance of a cover or alias

which an

An "undercover operation" is
undercover employee

is used.

any investigative

operation in

A "proprietary" is a sole proprietorship, partnership, corporation, or other business entity owned or controlled by the FBI, used by the FBI in connection with an undercover operation,

and whose relationship with

the FBI is not generally acknowledged

GENERAL AUTHORITY

responsibilities

these guidelines,
Under this

l! The

FBI may conduct undercover

in domestic

that are appropriate to carry out

law enforcement.

operations, pursuant in joint

its investigative

to

undercover operations enforcement agencies; undercover operation

maintain

authority,

a proprietary

source, or

other cooperating

with other federal, state, and local law may seek operational assistance for an from any suitable informant, confidential

the FBI

may participate

an operation&#39;s

on a commercial basis to
cover or

private individual;
effectiveness.

the extent necessary

and may operate

to

O -2"full investigation"
. ! Undercover operations can be

U
stage in0 Domesticauthorized only
at the

Security Investigations. AUTHORIZATIONUNDERCOVER OPERATIONS OF &#39;

authority, thethoseundercover Assistant Director, ! operations only be. authorizedand Director designated that can by or upon favorable recommendationsSAC, the byBureau headquarters FBIHQ!, and Undercover the Operations Review tee, UnderComi cover operations the latter category are thosethat involve a in substantial expenditure of government or funds, otherwise implicate fiscal policiesand considerations. Paragraph A!. included Also in this latter category undercover are operations that involve what are termed "sensitive circumstances." general, In these
are undercover operations involving investigation of public
corruption, or undercover operations involve risks that of need toobtain necessary evidence in timely and effective a

one of two categories: thoseundercover operationscan l! that be approved theSpecial AgentCharge by in SAC! under own his

All undercover operations under guidelines into f these fall

various formsharm intrusion. of and Paragraph Of course, B!. in planning undercover an operation, risks these of harm and intrusion willbe avoided whenever possible, consistent with the

manner.

A. Undercover Operations that Not Approvedthe May be by Special Agent Charge because Circumstances in of Fiscal
reasonable expectation

extension or renewal of an undercover operation if there is a

that: &#39;

forth in

! Subject to the emergency authorization procedures set

paragraphthe SAC not N, may authorize the establishment,

a! The undercover operation could result in significant

v in

civil claims against the United States, either arising

tort, contract or claims for just compensation

for the "taking" of property;

b! The undercover operation require leasing will

then current fiscal year, or with

or contracting for property, supplies, services, equipment, or facilities for any period extending beyond the September 30 termination date of the

more than one month&#39;s will require leasing rent; or

any facilities in the District of Columbia;

prepayment of

c! The undercover operation require will

the use of appropriated funds to establish or acquire a proprietary, or to operate

such a proprietary on a comercial basis;

OO
-3 -

d!

PTeed$ Eeneraied by the undercover operation. in banks or other financial institutions;

E!

The undercover operation will require the deposit of.appropriated funds, or of

involve

The undercover operation will

expenses of

operation to

use of proceeds generated by the undercover

the operation;

offset necessary

and reasonable incurred

the

f!

The undercover operation will

indemnification agreements
services, equipment

tures in

in aid of the operation,

excess of $1500 for property, supplie

alteration of will involve to time
or facilities

or will

for losses

require

require expen difor

5.

construction or

facilities;

g!

The undercover operation will last

than 6 months or
the approval

an expenditure
other amount that However

longer

is set

in excess

from time

of $20,000 of the

or such

this expenditure limitation shall not apply where a significant and unanticipated investigaand G.

Attorney General.

by the Director, with

tive opportunity would be lost by compliance with the procedures set forth in paragraphs D, L, F,

B. Undercover
Subject in paragraph
extension or

Special Agent

Operations that May not be Approved

emergency authorization SAC may not authorize
an undercover
that;

in Charge Because of Sensitive Circumstances

operation that

by the

to the N, the

undercover op
is a reasonab

sensitive circumstances.
le expectation a!

renewal of

procedures set the establishment,

forth

eration involves

For purposes of these guidelines, an

sensitive circumstances will concern if there operation

involves

The undercover

an investigation of possible corrupt action by a public official or political candidate, the activities of a foreign government, the activities of a religious
or political organization, or of the news media; the activities

O
-4 -

I
operation will
by an

b!

The undercover

involve
undercover

untrue representations

concerning the activities or of any innocent person;

!

employee or cooperating private

involvement

individual

An undercoveremployee orcooperating private

individual will
is proscribed

making of false representations

d!

of stolen

include criminal liability for

serious

law as a felony

by federal,
or that

engage inany activity that

this shall

crime -except

is otherwise

state, or

local
a

or contraband goods or for the

to third

the purchase identity

not

parties in concealmentpersonal of

or the true ownership of a proprietary;

An undercover employee or cooperating private individual will seek to supply an item or service that would be reasonably unavailable to criminal actors but for the participation
of the government;

e!

undercover;
F!

An undercover employee or cooperating private individual will run a significant risk of being arrested and seeking to continue

An undc-rcnvc-r c-nwployce orCOOP T fl &#39;_ private individual will be required Lu

give sworn testimony in any proceeding

in an undercover capacity;

g!

An undercoveremployee orcooperating private individual will attend a meeting between asubject of the investigation
and his lawyer;

h!

An undercover employee or cooperating

physician, clergyman, or member of the news media, and there is a significant risk that

private individual
another individual

will pose as an

attorney,
a

professional or confidential relationship with the undercover employee cooperating or private individual as a result of the pose;
i!

will be

led into

A request

by an undercover employee cooperating or

or other person who is unde

for information

will be

made

individual to an attorney, physician, clergyman,

the obligation

-5

privileged; j! A

of a legal privilege of confidentiality, and the particular information would ordinarily be

request for information will
to

by an undercover employee or cooperating

private individual a member of the news

be made

media concerning

the newsman is known to have or confidential relationship;

any individual

a professional

with whom

k! The undercover operation will be used to infiltrate a group under investigation as part of a Domestic Security Investigation,
or to group recruit a person from as an informant; within such a

l! There

or physical

may be a significant
injury to

individuals or

risk of
loss to

violence
a
an

significant risk
innocent individual.

of financial

C. Undercover
! The

pecial Agent

Operations that
in Chargg

May be Approved by the

establishment, extension

or renewal of all other undercover operations, to be supervised by his field office, upon his written determination, stating
supporting facts and circumstances, that:

SAC may authorize the

a! Initiation of investigative activity regarding the alleged criminal conduct or criminal

enterprise

General&#39;s Guidelines the Investigation of on

the Attorney General s

is warranted

under the

Attorney

&#39;

General Crimes,

Activity, and

of Criminal

Guidelines on Domestic Security Investigations, the Attorney General&#39;s Guidelines Investigation on

Enterprises Engaged in Racketeering

any other applicable guidelines; means of obtaining

b! The

to be an effective

proposed undercover operation appears

necessary information; this

evidence or

the

chance the operation has of obtaining evidence or necessary information concerning

alleged criminal

should include a statement of what prior investigation has been conducted, and what conduct or criminal

" enterprise;

IO
5 -

c!

The undercover
with minimal

operation will
intrusion consistent

be conducted
with the ,

need to

collect the

evidence or

information

in a d! Approval

timely and for the

effective manner; use of

source has

any informant
been obtained

or confidential

as required

by the

Attorney General&#39;s
Informants and

Guidelines on Use of Confidential Sources;

e! There is no present expectation of the occurrence of any of the circumstances listed in paragraphs A and B;

f! Any foreseeable participation by an undercover .employee or cooperating private individual

in illegal
a SAC

activity that stolen or by the

can be

approved by
the_

purchase of

on his

own authority

is justified paragraph 1 !.

participation in

a nonserious

contraband goods, in

that is,

factors noted

misdemeanor!,

or

D. Approval

Review CommitteeL
Circumstances

by Headguarters
Are Present

and Director

Undercover Operations
or Designated

Assistant

Director!, with Conrurrence or Strike Force Chief,

The Director of the

of United Where Sensitive

FBI or a designated

States Attorney or Fiscal

Assistant

expectation that
A and B may

Director must approve the renewal of an undercover

occur. .

any of the circumstances

SAC shall first

establishment, extension, operation if there is

listed in

or a reasonable

paragraphs
to

In such

cases, the

make application

FBI Headquarters FBIHQ!. See paragraph E below. FBIHQ may either disapprove the application or recommend that it be approved. A recommendation for approval may be forwarded

directly to the Director or designated Assistant Director if the application was submitted to FBIHQ solel because of a
fiscal circumstance listed in paragraph AZb- e!. paragraph E. In all
FBIHQ recommends the Undercover Operations the Director approval, the

other cases in which shall be forwarded to

by the Undercover Operations

shall be forwarded to

Comittee for

consideration. See

application Review

Review Committee, the application

or designated Assistant

If approved

Director. See paragraph G. The Director or designated Assistant Director may approve or disapprove the application. ~

OO
-7
x

E. Applications

to Headquarters

! Each application to Headquarters from a SAC recommending approval of the establishment, extension, or renewal of an undercover operation involving circumstances listed in paragraphs A and B shall be made in writing and shall include, with supporting
facts and circumstances: a!

A description of the proposed undercover operation, including the particular cover to be employed and any informants or other cooperating persons who will assist in the operation; a description of the particular

offense or
to be

criminal enterprise

under

investigation, and
involved; and

any individuals
a statement be maintained;

known
of the

period of
b!

operation would

time for

which the

undercover

A description
required by been met;

of how

the determinations
- d! have

paragraph C l! a!

C!

A statement

of which

circumstances specified
reasonably operative the undercover in light of facts the

in paragraphs A and B are expected to occur, what the are likely to be, and why operation merits approval circumstances, including,
i

for any foreseeable participation by an undcrcovcr employee or cooperating private individual in activity that is proscribed by federal, state, or local law as a felony or that is otherwise a serious crime but not including the

purchase of stolen or contraband goods or making of false representations to

third parties identity or proprietary -participation is pursuant to
ii

noted in paragraph 1 !, and a statement of the federal prosecutor&#39;s approval

paragraph 1 !; for any planned infiltration by an undercover employee or cooperating private

in concealment of personal the true ownership of a a statement why the justified by the factors

individual of

a group of

under investigation

as part

or re~ruitment

ofva Domestic

a person

Security Investigati
from within

OT1

O8
I

I
as an informant, a statement Investigations; and

such a group

why the infiltration or recruitment is necessary and meets the requirements of the Attorney General&#39;s Guidelines on a description any acquisition, dissemination of

Domestic Security

or to - d!

relate to

any other

the matter

of procedures to minimize retention, and information that does

authorized investigative expenses;

under investigation

not

activity.

A statement

of proposed

e!

A statement

meritorious case

and legality;

or Strike Force Chief is knowledgeable about the proposed operation, including the sensitive circumstances reasonably expected to occur; concurs with the proposal and its objectives

that the

United States Attorney

and agrees to prosecute

that is developed.

any

Force Chief should not be advised of the proposed undercover

operation, the

reasons that

! In

either the

the highly unusual

United States

event that there are compelling

Attorney or Strike General in

Criminal Division, or other Department

is necessary, the application

Assistant Attorney

purposes of any authorization or other function required by these guidelines. Where the SAC determines that such substitution determination. Such applications may only be authorized pursuant to the procedures prescribed in paragraph F, below,

designated by him, may substitute for

such person s! for

a

of Justice attorney

charge of the

statement of the compelling reasons, together with supporting facts and circumstances, which are believed to justify that

to FBIHQ shall include

whetherior not consideration by the Undercover Operations Review Committee otherwise required, and upon the approval is of the Assistant Attorney General in charge of the Criminal
Division.

! An application authority to engage in

reasonable explanation of any failure to obtain significant results, and a statement that the United States Attorney or
F; Undercover Operations Review Committee

describe the

results so

for the extension or renewal of an undercover operation should also

far obtained

from the operation or

Strike Force Chief favors the extension or renewal of authority.

!. There shall be an Undercover Operations Review Committee; consisting of appropriate employees of the FBI

OC
-9
O

designated by
Director.

Justice designated by the of the Criminal Division,

the Director,

Assistant Attorney to be chaired by

and&#39;attorneys ofthe Department

General in charge a designee of the

of

! Upon receipt from approval of an undercover may consult with senior States Attorney or Strike
If the Committee concurs

the application.

The Justice

FBIHQ of a SAC&#39;s application for operation, the Committee will review

Department officials and the United Force Chief, as they deem appropriate.
in the determinations contained

Department members of the

Committee
in the

application, and operation should

the Committee

finds that go forward,

is authorized

in other respects the see paragraph F ! and

to recommend to the

undercover ! below, be

Director or

designated Assistant
granted.

Director, see

paragraph G,

that approval

! In reviewing the application, the Committee shall carefully assess the contemplated benefits of the undercover operation, together with the operating and other costs of the proposed operation. In assessing the costs of the undercover operation, the Committee shall consider, where relevant, the following factors, among others:
a!

the risk of harm to private undercover employees; the risk or other of financial loss to

individuals or private individuals

b!

and businesses,
loss to of harm the risk

and the

risk of

damage liability

the government; to reputation;

C!

d!
e!

the risk
relationships; the risk

of harm
of invasion

to privileged
of privacy;

or confidential

f!

the degree to which the actions employees or cooperating private approach the conduct proscribed
below; and

of undercover individuals may in paragraph J

s!

the suitability of undercover employees or cooperating private individuals participatingin activity of the sort contemplated during
the undercover operation.

! If the proposed undercover operation involves any of the sensitive circumstances listed~in paragraph B, the Committee shall also examine the application to determine whether the

OO
-1Q. I

undercover operation
of such harm and

is planned

so as

to minimize

the incidence

sensitive circumstances, and to minimize the risks of intrusion that are created by such circumstances. If

the Committee recommends approval of an undercover operation involving sensitive circumstances, the recomendation shall include a brief written statement explaining why the undercover operation merits approval in light of the anticipated occurrence
of such sensitive circumstances.

! The
cover operation a! If

Committee shall
only upon

recommend approval
a consensus,

of an underprovided that:

reaching

one or more of the designees of the Assistant Attorney General in charge of the Criminal Division does not join in
a recommendation for approval of a proposed

undercover operation

because of

legal, ethical,

prosecutive or Departmental policy considerations, the designee shall promptly advise the Assistant Attorney General and there shall be no approval of the establishment, extension, or renewal of the undercover operation until the Assistant Attorney General has had the opportunity to
consult with the Director;

b! If,

upon consultation,
General disagrees with Director to approve the operation, there shall be
extension or renewal of

the Assistant

Attorney

a decision by the proposed undercover no establishment,

the undercover

operation
General has the matter to or Attorney

until the

Assistant Attorney

had an opportunity to refer the Deputy Attorney General General.

! The Comittee should consult the Legal Counsel Division of the FBI, and the Office of Legal Counsel or other appropriate division or office in the Department of Justice, about any significant unsettled legal questions concerning authority for or the conduct of a proposed undercover operation. G. Approval
The Director

by Director
or

or Designated

Assistant Director
shall havea reasonable

a designated

Assistant Director operation if

authority to approve operations recommended for approval by the Undercover Operations Review Committee, provided that only the
Director may authorize a proposed expectation exists that:

&#39;
a! There b! The

C
- 11 -

I
risk of will be violence or used to infiltrate or
to individuals; as part of a Domestic

may be a significant undercover operation

under investigation

physical injury a group

from within

Security Investigation,

such a group

or to

as an informant
case the

recruit

a person

confidential source,
authorization shall

in which
include a of information

Director&#39;s
not

statement of

procedures to relate to any other

and dissemination

minimize any

acquisition, retention,
that does

the matter under investigation or to authorized investigative activity; or

c! A

circumstance specified
is reasonably expected to

in paragraph A b!- e!
occur, in which case

the undercover operation may be implemented only after the Deputy Attorney General or Attorney General has specifically approved that
aspect of the operation in accordance with
applicable law.
H. Duration of Authorizations

nor in

! An undercover operation may not continue longer than is necessary to achieve the objective of the authorization,
any event longer than 6 months without new authorization
to proceed.

SAC must be reauthorized

! Any

undercover operation to paragraphs

in paragraph

Director, pursuant
than 6 months or
amount prescribed

by an Assistant Director
A g!.

initially approved
in excess

involves expenditures

D-G, if it lasts

or the

by a

of the

longer

I. Authorization
shall not
in any

of Participation

In "Otherwise Illegal" Activity

paragraph,

Nothwithstanding any an undercover employee or

activity that

engage, except in accordance with this

would constitute a crime

other provision of thcsc guidelines, cooperating private individual

under state or

the approval or authorization of an appropriate government official. For purposes of this paragraph, such activity is referred to as "otherwise illegal" activity.
&#39; ! No official shall recommend or approve

federal law if engaged in by a private person acting without

an undercover

employee&#39;s or cooperating private

reasonably foreseeable participation in otherwise illegal activity unless the participation is justified in order:

individual&#39;s planned or

IC
- 12
x

a! to b! to

obtain information or evidence for paramount prosecutive purposes; establish and

cover with

necessary or or
or

maintain credibility
with the of death

persons associated or avoid the danger

criminal activity
c! to prevent

under investigation; injury.

serious bodily

! Participation in any activity that is proscribed by federal, state, or local law as a felony or that is otherwise a serious crime -but not including the purchase of stolen or contraband goods or the making of false representations to third parties in concealment of personal identity or the true ownership of a proprietary - must be approved in advance by an Assistant Director on the recommendation of
the Undercover Operations Review Committee pursuant to

paragraphs D G, except that the Director&#39;s approval is~ required for participation in any otherwise illegal activity involving a significant risk of violence or physical injury to individuals. Approvals shall be recorded in writing. in such
A recomendation

otherwise illegal

to FBIHQ

activity must

for approval

include the

of participation

views of

the United States Attorney, Attorney General on why

Strike Force the participation

Chief, or Assistant is warranted.

! Participation
goods, or in advance by the

in

the purchase
misdemeanor, must in Charge.

of stolen

or contraband
in the

SAC shall

be recorded

a nonserious Special Agent FBI shall

in writing.

be approved Approvals by steps to

! The

take reasonable

minimize

the participation
private individual ! An individual shall

of an
in any

undercover employee
otherwise illegal or cooperating in any act of

or cooperating
activity. private violence,

undercover employee not participate

initiate or instigate any plan to commit criminal acts, or use unlawful investigative techniques to obtain information or evidence for the FBI e.g., illegal wiretapping, illegal mail openings, breaking and entering, or trespass amounting to an illegal search!.
! If it becomes necessary to participate in otherwise~

illegal activity that was not foreseen or anticipated, an undercover employee should make every effort to consult with the SAC. For otherwise illegal activity that is a felony or a serious misdemeanor, the SAC can provide emergency authorization

O -13underrparagraph N. If consultation with the

I
SAC is impossible

and there is an imediate and grave threat to life or physical safety including destruction of property through arson or bombing!. an undercover employee may participate in the otherwise illegal activity so long as he does not take part in and makes every effort to prevent any act of violence. A report to the SAC shall be made as soon as possible after the participation, and the SAC shall submit a full report to FBIHQ. FBIHQ shall promptly inform the members of the Undercover Operations Review Committee.

funding, and
by making

! Nothing

maintaining secure

in

these guidelines

cover for
to third

prohibits establishing,

an undercover

operation

of personal e.g., false

false representations

identity or the true ownership of a proprietary statements in obtaining driver&#39;s licenses, vehicle
permits, and business licenses! in advance by the appropriate SAC.

parties in

concealment when

registrations, occupancy such action is approved

8! Nothing in paragraph I ! or ! prohibits an undercover employee from taking reasonable measures of self defense in an emergency to protect his own life or the life of others against wrongful force. Such measures shall be reported to the SAC and the United States Attorney, Strike Force Chief, or Assistant Attorney General as soon as possible.
9! If a serious incident of violence should occur in the

course of

a criminal

activity and promptly inform Criminal Division. of the

an undercover the Assistant

employee or
any fashion FBIHQ. in

cooperating private individual has participated in the criminal activity, the SAC shall imediately inform

Headquarters shall in charge of the J. Authorigation

Attorney General

Creation of

Opportunities for Entrapment to engage in be disposed to

lllegal Activity
! Entrapment should be scrupulously avoided. is the inducement or encouragement of an individual illegal activity in which he would otherwise not
engage.

before approving an undercover to engage in illegal activity, the

satisfied that

! In

addition to

complying with

operation involving approving authority of the activity potential subjects; indication will reveal

any legal requirements,

an invitation should be

a! The corrupt nature reasonably clear to _ b! There is a reasonable undercover operation

is

activities; and

_-

that the illegal

-14I v

c! The

unjustifiable in view of of the illegal transaction

individual is invited to

nature of

any inducement

the character in which the

is not

engage.

to an individual theless, no

! Under

the law of entrapment, inducementsmmaybe offered_

even though there is no reasonable indication be approved without

that that particular individual has engaged, or is engaging, in the illegal activity that is properly under investigation. Nonesuch undercover operation shall
as practicable, that &#39; either &#39;

the specific written authorization of the Director, unless the Undercover Operations Review Committeedetermines See paragraph
F!, insofar

a!

there is

a reasonable

indication, based likely to engage in illegal

has been
informants is engaging,

has engaged, or is
activity of

on information developed through or other means, that the subject a similar

that

type; Q;
there is

b! The

structured so

opportunity for

illegal activity

reason for

believing that persons drawn to the opportunity, or brought to it, are predisposed to engage
in the contemplated illegal activity.

inducement to

A! In

any undercover operation, the

to engage in

illegal activity,
of an

an individual,

or to

shall be based solely on law enfor

Interviews that are

otherwise

decision to
invite an

offer

individual

an

ment considerations.

K. Authorization
Not Part

of Investigative

Undercover Operation

Notwithstanding any other provision of these guidelines, routine investigative interviews that are not part of an undercover operation may-be conducted without the authorization of FBIHQ, and without compliance with paragraphs C, D, and
E. These include so-called
relationship with

FBI employee uses an alias or

the FBI.

"pretext" interviews,

cover identity

to conceal

in which

his

an

paragraph B. Any investigativeinterview involvinga sensitive

part of an undercover operation -- may only be approved pursuant to the procedures set forth in paragraphs D, E, F,
and G, or pursuant to the emergency_authority prescribed in
paragraph N, if applicable.
circumstance -even an interview that is not conducted as

However, this authority does interview that involves a sensitive

not apply to an investigative circumstance listed in

O -15,

MONITORING ANDCONTROL OF UNDERCOVER OPERATIONS

L. Continuing_Consultation with United States Attorney

9r Strike Force Chief

periodically with the United Chief, or Assistant Attorney

and tactics and anticipated

Throughout the course of any undercover operation that has been approved by Headquarters, the SAC shall consult problems of the operation.

States Attorney, Strike Force General concerning the plans

M. Serious Legal, Ethical, Prosecutive, or Departmental Policy Questions, and Previously*Unforeseen I

Sensitive Circumstances

with Headquarters whenever a serious legal, ethical, prosecutive, or Departmental policy question is presented by the operation.
FBIHQ shall
and its

! In

any undercover

operation, the

SAC shall

consult

the Undercover Operations Review Committee of any such question

proposed resolution. likely to

promptly inform

the Department

of Justice

members of

paragraphs A and B and either a! The SAC&#39;s application to FBIHQ did not contemplate the occurrence of that circumstance, or b! the undercover operation was approved by the SAC under his own application for continued authorization amendment of the existing application to
Whenever such a new authorization or authority. In such cases the SAC shall also

operation is

! This

procedure shall

involve one

always be

of the circumstances

followed

if an

undercover
listed in

paragraph B.

of the operation or an Headquarters pursuant to

amended authorization

submit a

written

is required,
Strike Force

the FBI shall consult

Justice members full processing Authorization

Department of
Committee on

Chief, or

Assistant Attorney

with the

United States

Attorney,
Review

whether to

modify, suspend,

of the

Undercover Operations
or terminate

General, and

with the

the undercover

operation pending N. Emergency

of the

application or

amendment.

SAC who reasonably determines

Notwithstanding any a! an

other provision
that:

of these

guidelines, any

emergency situation

exists requiring

the establishment, extension, renewal, or modification of an undercover operation before an authorization mandated by these guidelines can with due diligence be obtained, in order to protect life or substantial

property, to offender, to
harm; and

of essential

apprehend or identify prevent the hiding or

evidence, or

to avoid

a fleeing destruction
~ I

other grave

b! there

could be

are grounds upon which authorization

obtained under these guidelines,

- 15

may approve the establishment, of an undercover operation if

extension, renewal, or modification a written application for

renewed, or modified. In such an emergency situation the SAC shall attempt to consult by telephone with the United
States Attorney, General, and with Strike Force a designated

approval is submitted to Headquarters within_48 hours after the undercover operation has been established, extended, Chief, or Assistant Attorney Assistant Director. FBIHQ

shall promptly inform the Department of Justice members of the Undercover Operations Review Committee of the emergency authorization. In the event the subsequent written application for approval is denied, a full report of all activity undertaken during the course of the operation shall be submitted to the Director, who shall inform the Deputy Attorney General. O. Annual Report of Undercover Operations Review Committee

l! The Undercover Operations Review Committee shall retain a file of all applications for approval of undercover operations submitted to it, together with a written record

of the Committee&#39;s action on the applications and any ultimate disposition by the Director or a designated Assistant Director.
The FBI shall also prepare a short summary of each undercover

operation approved by the Comittee. These records and summaries shall be available for inspection by a designee the Deputy Attorney General or of the Assistant Attorney
General in charge of the Criminal Division. ! On an annual basis, the Committee shall submit to the Director, the Attorney General, the Deputy Attorney General, and the Assistant Attorney General in charge of the Criminal Division, a written report summarizing: a! the

of

types of

undercover operations

approved; and

b! the

major

issues addressed and how they were

by the Committee in resolved.

reviewing applications

P. Preparation

of Undercover

Employees

l! The SAC or a designated supervisory agent shall review with each undercover employee prior to the employee&#39;s participation in an investigation, the conduct that the undercover employee is expected to undertake and other conduct whose necessity during the investigation is foreseeable. The SAC or designated supervisory agent shall expressly discuss with each undercover employee any of the circumstances

specified in
to occur.

paragraphs A
.-

and B which is

reasonably expected

Each undercover employee shall be instructed generally, and in relation to the proposed undercovev operation that he shall not participate in any act of violence; initiate

ti.

:2

,92
5. .,.

_Q
x

-17-

5.3!. Q .4
<_ v 1 ;~

or engage in any

or instigate any plan investigative techniques

to commit criminal
to obtain

acts; use

unlawful
evidence;

information or

conduct that

would violate

restrictions on
~

investigative techniques or FBI conduct contained in Attorney General Guidelines or other Department policy; and that, except in an emergency situation, he shall not participate obtained under these guidelines. when persons under investigation intend
violence. _

?
L. Q O

in any

illegal activity

for which

authorization has

crime, any undercover employee used in connection with investigation shall be instructed to try to discourage
! To conducted by
individual.

the FBI learns that to commit a violent

not been the the

Jb~

iv

the extent a Special

feasible, Agent with

&#39;

a similar review shall be each cooperating private

Q. Review of UndercoverEmployee Conduct

as is
Q

.W_
employee,

shall review

! From time to practicable, the

the actual

time during the course of the SAC or designated supervisory

conduct of the undercover

investigation, agent

as well as the employee&#39;s proposed or reasonably conduct for the remainder of the investigation, and
make a determination

foreseeable shall

been permissible. findings of

to the

undercover employee

This determination
as soon

whether the

conduct of

to the Director, and consultation with the Director shall be undertaken before the employee continues his participation in the investigation. To the extent feasible, a similar
review shall be made private individual.
92

impermissible conduct

shall be

as practicable.

shall be

the employee

communicated
Any

has

promptly reported

of the

conduct of

each cooperating

P.

2
ET

to third parties in true ownership of a agent at

!A

written report

g. Ig,
Q V

and maintaining secure cover for an undercover operation, shall be submitted to the SAC or designated supervisory

concealment of proprietary, for of the

on the

use of

personal identity or the establishing, funding, A

false representations

the conclusion

undercover operation.

written report on participation in any other activity proscribed by federal, state or local law shall be made by an undercover employee to the SAC or designated supervisory agent every 60 days and at the conclusion of the participation
in the illegal activity.

R. Deposit
P ,,.. U F 8 L.

of Proceeds; Liquidation of
soon as the proceeds from

Proprietaries
operation

&#39; As

an undercover

are no

longer necessary

for the

conduct of

the operation,

.
- 13 -.

the remaining proceeds shall be deposited in the the United States as miscellaneous receipts.

Treasury of

Whenever a proprietary with a net value over $50,000 is to be liquidated, sold, or otherwise disposed of, the FBI, as much in advance as the Director or his designee shall determine is practicable, shall report the circumstances to the Attorney General and the Comptroller General. The proceeds of the liquidation, sale, or other disposition, after obligations are met, shall be deposited in the Treasury of the United States as receipts.
RESERVATION

These guidelines on the use of undercover operations are set forth solely for the purpose of internal Department of Justice guidance. They are not intended to, do not, and
may not he relied upon to, create any rights, substantive or

procedural, enforceable at law civil or criminal, nor do they otherwise lawful investigative or
the Department of Justice.

by any party in any matter, place any limitations on litigative prerogatives

of

]@__7___. {>_,,
Benjnin R. Civiletti
Attorney General

Date:

_/ / I

92